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S••••• P•••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••••• P•••• M••••••••• L•••

CRD 329856

NEW YORK, NY

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Search this name across graphsid dfx:ria:65135aaf-98a6-1593-85a7-035b29f1709a

Data as of May 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jun 4, 2024 to May 19, 2026
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $857MItem 5.F on the latest filing (2026-05-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $857M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• F••• I••• L•••	Hedge Fund	$64.6M	Jun 4, 2024	19	Feb 13, 2024	reported	021-493269
O••••• V•••• H•••••••• L••• • D•••••••••	Hedge Fund	$8.6M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• S••••••• B••••	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	07/2018	Jun 4, 2024	Jun 4, 2024
K••••••••• R••• J••••	MANAGING MEMBER	E	yes	01/2018	Jun 4, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• F••• I•• G•• L••	n/a	n/a	n/a	N	yes	n/a
M•••••• L•••• S•••••••• P•••	n/a	n/a	n/a	N	yes	n/a
O••••• V•••• G•• L••

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 1 of 2

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$857M	$857M	5	4	0	2	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$857M	n/a	n/a	n/a	n/a	5	n/a	0	n/a

Relationships

Advises (2)

→ O••••• V•••• H•••••••• L••• • D•••••••••Private fundHedge Fund, IA
Mar 24, 2022 to presentfactForm ADV
→ M••••• F••• I••• L•••Private fundHedge Fund, IA
Feb 13, 2024 to presentfactForm ADV

Controls (4)

← K••••••••• R••• J••••OwnerMANAGING MEMBER, ownership code E, individual
Jun 4, 2024 to Jun 4, 2024factForm ADV
← O•••••••• K••••• A•••••

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
S••••• P•••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $73.2M)
Form ADVobserved 6 days ago
$73.2M
Occurred
Jun 4, 2024
First Form ADV filing
S••••• P•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65135aaf-98a6-1593-85a7-035b29f1709a
First observed: Jun 4, 2024
Last observed: May 19, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.